Todd Matthew Walters

Employer firm

Rockefeller Capital Management CRD 294197

$36.8B regulatory AUM 423 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2011 → 05/2022
  Spearhead Capital, Llc
  Wellington, FL
• 07/2013 → 05/2022
  Spearhead Capital Advisors, Llc
  Wellington, FL
• 05/2012 → 05/2022
  Spearhead Innovative Solutions, Llc
  Wellington, FL
• 06/2022 → 08/2023
  Rockefeller Financial Llc
  Wellington, FL
• 09/2023 → 11/2024
  Rockefeller Financial Llc
  Paramus, NJ
• 12/2024 → 07/2026
  Rockefeller Financial Llc
  Wellington, FL
• 10/2023 → 07/2026
  Rockefeller Capital Management
  Wellington, FL
• 08/2026 → Present
  Rockefeller Financial Llc
  Winter Park, FL
• 08/2026 → Present
  Rockefeller Capital Management
  Winter Park, FL

Previous Registrations

• 2017-06-13 → 2022-06-30
  Spearhead Capital Advisors, Llc
  Wellington, FL
  Morristown, NJ
  New Vernon, NJ

Other Businesses

1.) NEW VERNON FINANCIAL, LLC; INVESTMENT RELATED; NEW VERNON, NJ; OWNER AND OFFICER OF BUSINESS CONSULTING AND MANAGEMENT FIRM, HOLDING COMPANY OF INVESTMENTS; MANAGING PARTNER RESPONSIBLE FOR OVERSEEING VARIOUS INVESTMENTS IN BUSINESSES, MANAGING THOSE BUSINESSES TO MAXIMIZE THE RETURN ON INVESTMENT AND CONSULT TO THOSE BUSINESSES AND OTHERS WHEN NECESSARY OR ENGAGED TO DO SO. RESPONSIBLE FOR THE DAY TO DAY OPERATIONS; SINCE 11/2008; DEVOTE 5% OF TIME/WEEK. 2.) SPEARHEAD CAPITAL ADVISORS, LLC; WELLINGTON, FL 33414; INVESTMENT RELATED; SINCE 7/2013; REGISTERED INVESTMENT ADVISOR; CEO AND MANAGING MEMBER; DEVOTE 50% OF TIME/WEEK. 3.) SPEARHEAD SPECIAL OPPORTUNITIES, LLC; 12012 SOUTH SHORE BLVD., SUITE 112, WELLINGTON, FL; SINCE 02/2018; OWNER AND MANAGING MEMBER OF COMPANY; INVESTMENT EVALUATION AND DUE DILIGENCE; DEVOTES LESS THAN 1 HOUR PER WEEK. 4.) NFC, LLC; 3420 FAIRLANE FARMS RD, WELLINGTON, FL; NOT INVESTMENT-RELATED; SINCE 3/2015; PARTNER; EVALUATE BUSINESS OPPORTUNITIES; DEVOTE 1% OF TIME/WEEK. 5.) AGILE INSURANCE SOLUTIONS, LLC; CHARLESTOWN, MA; INVESTMENT RELATED; SINCE 9/2021; EQUITY OWNER & MANAGING MEMBER; LIFE SETTLEMENT PROVIDER THAT ORIGINATES LIFE INSURANCE POLICIES FOR PURCHASE FOR SPEARHEAD LS FACILITY, LLC; OVERSEE STRATEGY & STRUCTURE; <10 HOURS/MONTH. 6.) JTB Equities, LLC; New Vernon, NJ; Investment-Related; Since 1/2022; Managing Member; LLC formed for the purpose of making a private investment; Devote less than 5 hrs/month to this activity. 7.) Erudite Cria Inc., 3420 Pump Rd, Henrico VA 23233. Investment related. Erudite Cria Inc. is the general partner of Infinite Acquisitions LLLP which is a holding company for private businesses. Board member since January 2023. I spend two hours a month to the entity and zero hours during trading hours. My role is to sit on the Board and help make financial decisions around the private companies investments and how to maximize the balance sheet of Infinite Acquisitions. 8.) Spearhead Strategic Partners, LLC; Investment related. 12012 South Shore Blvd, Suite 112, Wellington, FL 33414; Holding Co for Equity investments in RIAS & Other Inv; Managing Member; 02/07/2012; 8 hours a month and 0 hours during trading hours; Oversee the administrative aspects of the business and provide direction and guidance to the underlying companies.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-05-31
• S63 Uniform Securities Agent State Law Examination
  2004-11-09